notes, Thai government debt instruments, other debt instruments and ordinary shares; 2) the guideline for assessing liquidity for fund investment overseas be updated and 3) the scope of application of
Bangkok, September 10, 2013 ? The Securities and Exchange Commission (SEC) and the Association of Investment Management Companies (AIMC) agree on introducing investment risk management guideline and
Guideline for Internet Regulation แแนนววททาางงกกาารรกํ ากํ ากักับบดูดูแแลลกกาารรทํ าทํ าธุธุรรกกรรรรมมดดาานนหหลัลักกททรัรัพพยยผผาานนสื่สื่ออ oonn--lliinnee บทนํ า การใช Internet เปนสื่อในการ
) preparation of the service agreement in respect of, for example, scope of conditions of service provision, customer’s rights, source of investment strategy; 3) availability of the appropriate personnel to
regulator also discussed with Association of Investment Management Companies (AIMC) and Sasin Graduate Institute of Business Administration of Chulalongkorn University (Sasin) on the review on AIMC guideline
Essentially, the draft proposal aims to allow three more types of businesses to participate in the Regulatory Sandbox to support more efficient provision of capital market services, namely: (1) securities brokerage, securities dealing, securities underwriting, mutual fund management and securities borrowing and lending (SBL) (currently only investment advisory and private fund management businesses are eligible for the program), (2) derivatives clearing house business, and (3) the securit...
SEC Assistant Secretary-General Kumpol Sontanarat said that SEC has recently provided additional service for the capital market. The open data database contain 10-year historical records of fund raising activities both in equity and debt securities including the details of the fund mobilizers by industry, companies and individual instruments.SEC has been continuously developing the open data service in many forms which can be accessed via SEC website. The data can be downloaded through SEC...
The Securities and Exchange Commission (SEC) and the Association of Thai Securities Companies (ASCO) co-organized the SEC 2024 Supervision Approach and Risk Management Guideline seminar to foster
Bangkok, 1 December 2017 ? The SEC is giving more focus to the regulation-for-growth approach to meet the demands of the public and all sectors of market participants more appropriately.Mrs. Waratchya Srimachand, SEC Senior Assistant Secretary-General, said: ?The capital market is undergoing significant changes, for example, technological disruption, wider linkage of global financial markets, increasing competition, change of behavioural patterns, and changing demands of fundraisers, business op...